DFX Intelligence
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P• C•••••• A•••••••• L••
Asset manager (funds and pooled vehicles), based in Naples, Florida, reporting $327M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $327M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +7.0%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 162083 · SEC 801-79328 · 19 filingsShowHide
CRD 162083SEC 801-79328First filing on the tape Mar 3, 2014, latest May 5, 2026SEC status approved since Mar 20, 2014IAPD
RAUM
$327M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$327M as of May 5, 2026
Mar 12, 2015$271M then
HNW client RAUM$0 as of May 5, 2026
Mar 26, 2025$0 then
State-registered IARs (5.B.3)0 as of May 5, 2026
Mar 12, 20150 then
Employees (5.A)8 as of May 5, 2026
Mar 12, 20150 then
Private funds7 as of May 5, 2026
Mar 12, 20154 then
RAUM +7.0% over the last fiscal year-4.8% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $46.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $311M, 7 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$327M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $311M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• E••• F•••• L••• | Hedge Fund | $142M | 91 | Mar 22, 2012 |
| G••••••••• C••••••• L••• | Hedge Fund | $72.6M | 92 | Mar 22, 2012 |
| F•••••••• E••• S•••••••• F•••• L••• | Hedge Fund | $67.5M | 86 | Mar 22, 2012 |
| P• C••••••••• F•••• L••• | Hedge Fund | $26.4M | 28 | Mar 22, 2012 |
| P• C•••••• • B•••• M•••• F•••••••• F•••• L••• | Hedge Fund | $6.9M | 5 | Mar 30, 2026 |
| P• C•••••• S•• •• L• | Hedge Fund | $6.7M | 12 | May 5, 2026 |
| P• C•••••• P••• F•••• L••• | Hedge Fund | $4.7M | 10 | May 5, 2026 |
| P• C•••••• P••• F•••• L•••no longer reported | Hedge Fund | $3.8M | 1 | Mar 20, 2017 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• R••••••• J• · Co-Managing Membercontrolsince 01/1996 · owns 50% to 75%
- P•••••• J•••• W•••••• · Co-Managing Membercontrolsince 01/1996 · owns 50% to 75%
- D••••• C••••••••• E•••••••• · Chief Financial Officersince 08/2016 · owns less than 5%
- D••••• M••••••• C••••••••• · Chief Compliance Officersince 12/2014 · owns less than 5%
Related persons
Schedule D 7.A
- G••••••• • P• C••••••• L••pooled vehicle sponsorn
- P• C••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Naperville, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 7Mar 26, 2025 to Mar 27, 2026
- Pooled vehicle clients · 6 to 7Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $299M to $311MMar 26, 2025 to Mar 27, 2026
- Other offices · 1 to 0Mar 26, 2025 to Mar 27, 2026
- Private funds · 6 to 7Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $305M to $327MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $305M to $327MMar 26, 2025 to Mar 27, 2026
- RAUM · $305M to $327MMar 26, 2025 to Mar 27, 2026
- Accounts · 4 to 6Mar 20, 2024 to Mar 26, 2025
- Pooled vehicle clients · 4 to 6Mar 20, 2024 to Mar 26, 2025
- Assets in custody · $303M to $299MMar 20, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 26, 2025
- Private funds · 4 to 6Mar 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $305M to $305MMar 20, 2024 to Mar 26, 2025
- HNW RAUM · unset to 0.0Mar 20, 2024 to Mar 26, 2025
- Individual RAUM · unset to 0.0Mar 20, 2024 to Mar 26, 2025
- Pension RAUM · unset to 0.0Mar 20, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $305M to $305MMar 20, 2024 to Mar 26, 2025
- RAUM · $305M to $305MMar 20, 2024 to Mar 26, 2025
- Accounts · 5 to 4Mar 23, 2023 to Mar 18, 2024
- Assets in custody · $364M to $303MMar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $379M to $305MMar 23, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $365M to $305MMar 23, 2023 to Mar 18, 2024
- RAUM · $379M to $305MMar 23, 2023 to Mar 18, 2024
- Advisory employees · 3 to 4Mar 14, 2022 to Mar 23, 2023
- Assets in custody · $437M to $364MMar 14, 2022 to Mar 23, 2023
- Employees · 7 to 8Mar 14, 2022 to Mar 23, 2023
- Discretionary RAUM · $452M to $379MMar 14, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $439M to $365MMar 14, 2022 to Mar 23, 2023
- RAUM · $452M to $379MMar 14, 2022 to Mar 23, 2023
- Assets in custody · $353M to $437MMar 22, 2021 to Mar 14, 2022
- Discretionary RAUM · $361M to $452MMar 22, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $353M to $439MMar 22, 2021 to Mar 14, 2022
- RAUM · $361M to $452MMar 22, 2021 to Mar 14, 2022
- Assets in custody · $426M to $353MMar 26, 2020 to Mar 22, 2021
- Discretionary RAUM · $432M to $361MMar 26, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $426M to $353MMar 26, 2020 to Mar 22, 2021
- RAUM · $432M to $361MMar 26, 2020 to Mar 22, 2021
- Assets in custody · $353M to $426MMar 15, 2019 to Mar 26, 2020
- Discretionary RAUM · $357M to $432MMar 15, 2019 to Mar 26, 2020
Signals
5 dated events
- ••• LockedMay 5, 2026 · private fund first reported · fact
- ••• LockedMay 5, 2026 · private fund first reported · fact
- ••• LockedMay 5, 2026 · ria office closed · derived
- ••• LockedDec 2, 2014 · ria registration change · fact
- ••• LockedMar 3, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, May 5, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, May 5, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026